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Lloyd Murray Frick

Stifel, Nicolaus & Company, Incorporated

Brookfield, WI

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Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-04-05
WI RA APPROVED 2019-12-04
  • TX RA
    APPROVED_RES
    Since 2024-04-05
  • WI RA
    APPROVED
    Since 2019-12-04

Branch Locations

18000 West Sarah Lane Suite 180, Brookfield, WI 53045 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Kevin Bay Investments, Llc Pewaukee WI 01/2009 10/2019
Stifel, Nicolaus & Company, Incorporated Brookfield WI 10/2019 Present
Previous Registrations
  • 2009-03-10 → 2019-12-11
    Kevin Bay Investments, Llc
    Pewaukee, WI
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2019-09-17
S65 Uniform Investment Adviser Law Examination 2009-02-27
  • S63 Uniform Securities Agent State Law Examination
    2019-09-17
  • S65 Uniform Investment Adviser Law Examination
    2009-02-27
Other Names
  • Lloyd Murray Frick
  • Lloyd Murray Frick

View on SEC IAPD

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Other Offices

ANNEX WEALTH MANAGEMENT, LLC · BROOKFIELD, WI
RBC CAPITAL MARKETS, LLC · BROOKFIELD, WI
MARINER · BROOKFIELD, WI
M HOLDINGS SECURITIES, INC. · Brookfield, WI
STATE FARM INVESTMENT MANAGEMENT CORP. · Brookfield, WI
AMERIPRISE FINANCIAL SERVICES, LLC · Brookfield, WI
ENTASIS ASSET MANAGEMENT LLC · Brookfield, WI
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · BROOKFIELD, WI

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